executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems

SEC has suspended approval of two AEC executives, namely Thada Chanprasit and Pisit Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being

the cooperation to disseminate knowledge on finance, investment and savings and to train personnel to ensure they have financial knowledge and understanding so that they can transfer it to students

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days

manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the

Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

client's assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market

assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment